压载水控制管理规则

INTERNATIONAL MARITIME ORGANIZATION EIMOA 20/Res.8681 December 1997Original: ENGLISHASSEMBLY20th sessionAgenda item 11RESOLUTION A.868(20)adopted on 27 November 1997GUIDELINES FOR THE CONTROL AND MANAGEMENT OF SHIPS BALLASTWATER TO MINIMIZE THE TRANSFER OF HARMFULAQUATIC ORGANISMS AND PATHOGENSTHE ASSEMBLY,RECALLING Article 15(j) of the Convention on the International Maritime Organization concerningthe functions of the Assembly in relation to regulations and guidelines concerning prevention and control ofmarine pollution from ships,RECALLING ALSO resolution A.774(18) by which it recognized that the uncontrolled discharge ofballast water and sediment from ships has led to the transfer of harmful aquatic organisms and pathogens,causing injury to public health and damage to property and the environment, and accordingly adoptedGuidelines for Preventing the Introduction of Unwanted Aquatic Organisms and Pathogens from Ships BallastWater and Sediment Discharges, and further that the Marine Environment Protection Committee (MEPC)andthe Maritime Safety Committee (MSC) shall keep the ballast water issue and the application of the Guidelinesunder review with a view to further developing the Guidelines as a basis for a new Annex to MARPOL 73/78,RECALLING FURTHER that the 1992 United Nations Conference on Environment andDevelopment (UNCED), in its Agenda 21 requests IMO to consider the adoption of appropriate rules onballast water discharge to prevent the spread of non-indigenous organisms, and further proclaims in itsDeclaration on Environment and Development that States shall widely apply the precautionary approachaccording to their capabilities,BEARING IN MIND that MEPC/Circ.288 recognized that the existing Guidelines do not provide acomplete solution towards the total prevention of the introduction of harmful aquatic organisms and pathogens,but urged that focus should be directed on measures aimed at minimizing the risks, emphasizing further that inapplying the existing Guidelines, the ships safety was of paramount importance,NOTING the objectives of the Convention on Biological Diversity, 1992, and that the transfer andintroduction of alien aquatic species with ballast water threatens the conservation and sustainable use ofbiological diversity,I:ASSEMBLY20RES868NOTING FURTHER the status of work carried out by MEPC as requested by resolution A.774(18)concerning the development of legally binding provisions on ballast water management together with guidelinesfor their effective implementation, as well as the Guidance on Safety Aspects of Ballast Water Exchange atSea prepared by the Sub-Committee on Ship Design and Equipment, and distributed as MEPC/Circ.329 andMSC/Circ.806, both of 30 June 1997,RECOGNIZING that several States have taken unilateral action by adopting legally binding provisionsfor local, regional or national application with a view to minimizing the risks of introducing harmful aquaticorganisms and pathogens through ships entering their ports, and also that this issue, being of worldwideconcern, demands action based on globally applicable regulation together with guidelines for their effectiveimplementation and uniform interpretation,HAVING CONSIDERED the recommendation of the MEPC at its fortieth session on this issue,1. ADOPTS the Guidelines for the Control and Management of Ships Ballast Water to Minimize theTransfer of Harmful Aquatic Organisms and Pathogens set out in the Annex to the present resolution;2. REQUESTS Governments to take urgent action in applying these Guidelines, including thedissemination thereof to the shipping industry, to use them as a basis for any measures they adopt with a viewto minimizing the risks of introducing harmful aquatic organisms and pathogens, and to report to the MEPC onany experience gained in their implementation;3. REQUESTS ALSO the MEPC to work towards completion of legally binding provisions on ballastwater management in the form of a new Annex to MARPOL 73/78, together with guidelines for their uniformand effective implementation with a view to their consideration and adoption in the year 2000;4. REQUESTS FURTHER the MSC to include in its workplan the evaluation of information receivedfrom interested parties, particularly that relevant to 12.2 of the Guidelines adopted herewith, with a view todetermining the hazards and potential consequences for various existing ship types and operations. The MSCis also requested to consider any other relevant issues concerning ballast water management as well as designobjectives for new ships, with a view to minimizing to the extent possible risks of introducing harmful aquaticorganisms and pathogens with ships ballast water and sediments;5. REVOKES resolution A.774(18).I:ASSEMBLY20RES868-3- A 20/Res.868ANNEXGUIDELINES FOR THE CONTROL AND MANAGEMENT OF SHIPS BALLAST WATERTO MINIMIZE THE TRANSFER OF HARMFUL AQUATIC ORGANISMS ANDPATHOGENSContentsCHAPTER 1CHAPTER 2CHAPTER 3CHAPTER 4CHAPTER 5CHAPTER 6CHAPTER 7-INTRODUCTIONDEFINITIONSAPPLICATIONGUIDELINE OBJECTIVES AND BACKGROUNDDISSEMINATION OF INFORMATIONTRAINING AND EDUCATIONPROCEDURES FOR SHIPS AND PORT STATES7.17.2Procedures for shipsProcedures for port StatesCHAPTER 8 - RECORDING AND REPORTING PROCEDURES8.18.2Procedures for shipsProcedures for port StatesCHAPTER 9 - SHIPS OPERATIONAL PROCEDURES9.1 Precautionary practices.1.2.3Minimizing uptake of harmful aquatic organisms, pathogens and sedimentsRemoving ballast sediment on a timely basisAvoiding unnecessary discharge of ballast water9.2 Ballast water management options.CHAPTER 10 -I:ASSEMBLY20RES868Ballast water exchangeNon-release or minimal release of ballast waterDischarge to reception facilitiesEmergent and new technologies and treatmentsPORT STATE CONSIDERATIONA 20/Res.868-4-Highly disparate conditions between uptake and discharge portsBallast water agePresence of target organismsCHAPTER 11 -CHAPTER 12 -ENFORCEMENT AND MONITORING BY PORT STATESFUTURE CONSIDERATIONS IN RELATION TO BALLAST WATEREXCHANGE12.112.2Research needsLong-term evaluation of safety aspects in relation to ballast water exchangeCHAPTER 13 - BALLAST SYSTEM DESIGNAppendix 1Appendix 2-Ballast water reporting formGuidance on safety aspects of ballast water exchange at seaI:ASSEMBLY20RES868-5- A 20/Res.8681 Introduction1.1 Studies carried out in several countries have shown that many species of bacteria, plants, and animalscan survive in a viable form in the ballast water and sediment carried in ships, even after journeys of severalmonths duration. Subsequent discharge of ballast water or sediment into the waters of port States may resultin the establishment of harmful aquatic organisms and pathogens which may pose threats to indigenous human,animal and plant life, and the marine environment. Although other media have been identified as beingresponsible for transferring organisms between geographically separated water bodies, ballast water dischargefrom ships appears to have been among the most prominent.1.2 The potential for ballast water discharge to cause harm has been recognised not only by theInternational Maritime Organization but also by the World Health Organization, which is concerned about therole of ballast water as a medium for the spreading of epidemic disease bacteria.1.3 These Guidelines are not to be regarded as a certain solution to the problem. Rather, each part ofthem should be viewed as a tool which, if correctly applied, will help to minimize the risks associated withballast water discharge. As scientific and technological advances are made, the Guidelines will be refined toenable the risk to be more adequately addressed. In the interim, port States, flag States and other parties thatcan assist in mitigating this problem should exercise due care and diligence in an effort to conform to themaximum extent possible with the Guidelines.1.4 The selection of appropriate methods of risk minimization will depend upon several factors, includingthe type or types of organisms being targeted, the level of risk involved, its environmental acceptability, theeconomic and ecological costs involved and the safety of ships.23DefinitionsFor the purposes of these Guidelines, the following definitions apply:Administration means the Government of the State under whose authority the ship is operating.Convention means MARPOL 73/78 (International Convention for the Prevention of Pollution fromShips, 1973, and the Protocol of 1978 related thereto).Member States means States that are Members of the International Maritime Organization.Organization means the International Maritime Organization (IMO).Port State authority means any official or organisation authorized by the Government of a port Stateto administer guidelines or enforce standards and regulations relevant to the implementation of nationaland international shipping control measures.Treatment means a process or mechanical, physical, chemical or biological method to kill, remove orrender infertile, harmful or potentially harmful organisms within ballast water.ApplicationThe Guidelines are directed to Member States and can apply to all ships; however, a port Stateauthority shall determine the extent to which they do apply.4 Guideline objectives and backgroundI:ASSEMBLY20RES868A 20/Res.868 -6-4.1 The objectives of these Guidelines, developed under technical and scientific guidance, are intended toassist Governments and appropriate authorities, ship masters, operators and owners, and port authorities, aswell as other interested parties, in minimizing the risk of introducing harmful aquatic organisms and pathogensfrom ships ballast water and associated sediments while protecting ships safety.4.2 The Guidelines allow port States to exempt ships within the area under their jurisdiction from part orall of the relevant provisions. Notwithstanding, any administration wishing to apply restrictions to ballast wateroperations should still follow these Guidelines, when developing legislation or procedures.4.3 In order that the Guidelines may be implemented in a standard and uniform manner, all Member StateGovernments, ship operators, other appropriate authorities and interested parties are requested to apply theseGuidelines.5 Dissemination of information5.1 Administrations are encouraged to maintain and exchange information relevant to these Guidelinesthrough the Organization. Accordingly, administrations are encouraged to provide the Organization with thefollowing:..5Information on severe outbreaks or infestations of harmful aquatic organisms which may posea risk;Copies of current domestic laws and regulations;Technical and research information;Education materials (such as audio and video tapes) and printed materials; andLocation and terms of use of alternative exchange zones, contingency strategies, availabilityof shore reception facilities, fees, etc.5.2 Member States, applying ballast water and sediment discharge procedures, should notify theOrganization of specific requirements and provide to the Organization, for the information of other MemberStates and non-governmental organizations, copies of any regulations, standards, exemptions or guidelines beingapplied. Verification and detailed information concerning port State requirements should be obtained by theship prior to arrival.5.3 Port State authorities should provide the widest possible distribution of information on ballast water andsediment management and treatment requirements that are being applied to shipping. Failure to do so may leadto unnecessary delays for ships seeking entry to port States.5.4 Shipping organizations and ships managers should be familiar with the requirements of port Stateauthorities with respect to ballast water and sediment management and treatment procedures, includinginformation that will be needed to obtain entry clearance.5.5 Member States are invited to provide the Organization with details of any research and developmentstudies that they carry out with respect to the impact and control of harmful aquatic organisms and pathogensin ships ballast water and sediment.I:ASSEMBLY20RES868-7- A 20/Res.8685.6 Member States should provide to the Organization details of records describing reasons why existingrequirements could not be complied with, e.g. force majeure, heavy weather, failure of equipment, or lack ofinformation concerning port State requirements.6 Training and education6.1 Training for ships masters and crews as appropriate should include instructions on the application ofballast water and sediment management and treatment procedures, based upon the information contained inthese Guidelines. Instruction should also be provided on the maintenance of appropriate records and logs.Governments should ensure that their marine training organizations include this in the contents of their syllabus.6.2 The application of processes and procedures concerning ballast water management are currently atthe core of the solution to minimize the introduction of harmful aquatic organisms and pathogens.6.3 Governments are encouraged to include knowledge of duties regarding the control of pollution of thesea by harmful aquatic organisms and pathogens in their training requirements for certificates.77.1Procedures for ships and port StatesProcedures for ships7.1.1 Every ship that carries ballast water should be provided with a ballast water management plan to assistin the minimization of transfer of harmful aquatic organisms and pathogens. The intent of the plan should be toprovide safe and effective procedures for ballast water management.7.1.2 The ballast water management plan should be specific to each ship.7.1.3 The ballast water management plan should be included in the ships operational documentation. Such aplan should address, inter alia:-relevant parts of these Guidelines;approval documentation relevant to treatment equipment;an indication of records required; andthe location of possible sampling points.7.2 Procedures for port States7.2.1 Reception and treatment facilities should be made available for the environmentally safe disposal ofballast tank sediments.7.2.2 Discharge of ships ballast water into port reception and/or treatment facilities may provide anacceptable means of control. Port State authorities wishing to utilize this strategy should ensure that thefacilities are adequate.I:ASSEMBLY20RES868A 20/Res.868 -8-88.1Recording and reporting proceduresProcedures for ships8.1.1 Where a port State authority requires that specific ballast water procedures and/or treatment option(s)be undertaken, and due to weather, sea conditions or operational impracticability such action cannot be taken,the master should report this fact to the port State authority as soon as possible and, where appropriate, prior toentering seas under its jurisdiction.8.1.2 To facilitate the administration of ballast water management and treatment procedures on board eachship, a responsible officer should be appointed to maintain appropriate records and to ensure that ballast watermanagement and/or treatment procedures are followed and recorded.8.1.3 When taking on or discharging ballast water, as a minimum, the dates, geographical locations, shipstank(s) and cargo holds, ballast water temperature and salinity as well as the amount of ballast water loaded ordischarged should be recorded. A suitable format is shown in appendix 1. The record should be madeavailable to the port State authority.8.1.4 The location and suitable access points for sampling ballast or sediment should be described in theships ballast water management plan. This will allow crew members to provide maximum assistance whenofficers of the port State authority require a sample of the ballast water or sediment.Procedures for port StatesConsistent with 5.2 above, port States should provide ships with the following information:-details of their requirements concerning ballast water management;location and terms of use of alternative exchange zones;any other port contingency arrangements; andthe availability, location, capacities of and applicable fees relevant to reception facilities thatare being provided for the environmentally safe disposal of ballast water and associatedsediment.8.2.2 To assist ships in applying the precautionary practices described in 9.1.1 below, port States shouldinform local agents and/or the ship of areas and situations where the uptake of ballast water should beminimized, such as:-areas with outbreaks, infestations or known populations of harmful organisms and pathogens;areas with current phytoplankton blooms (algal blooms, such as red tides);nearby sewage outfalls;nearby dredging operations;when a tidal stream is known to be the more turbid; andareas where tidal flushing is known to be poor.I:ASSEMBLY20RES868-9- A 20/Res.868Ships operational proceduresPrecautionary practicesMinimizing uptake of harmful aquatic organisms, pathogens and sedimentsWhen loading ballast, every effort should be made to avoid the uptake of potentially harmful aquaticorganisms, pathogens and sediment that may contain such organisms. The uptake of ballast water should beminimized or, where practicable, avoided in areas and situations such as:-areas identified by the port State in connection with advice relating to 8.2.2 above;in darkness when bottom-dwelling organisms may rise up in the water column;in very shallow water; orwhere propellers may stir up sediment.9.1.2 Removing ballast sediment on a timely basisWhere practicable, routine cleaning of the ballast tank to remove sediments should be carried out inmid-ocean or under controlled arrangements in port or dry dock, in accordance with the provisions of the shipsballast water management plan.9.1.3 Avoiding unnecessary discharge of ballast waterIf it is necessary to take on and discharge ballast water in the same port to facilitate safe cargooperations, care should be taken